Stinson Leonard Street Dodd Frank


The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Nabs Private Equity Sponsor for Conflicting Investments

hedge fund

Investment Advisers, Litigation, Private Equity JH Partners, LLC, a private equity sponsor, recently agreed to settle SEC charges.  According to the SEC the proceedings arose from negligent breaches of fiduciary duty by JHP, an investment adviser to several private equity funds (the “Funds”). According to the SEC: From at least 2006 to 2012, JHP and certain of its principals loaned […] Read more →

by   |   November 25, 2015

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SEC Preparing to Move Forward on Accredited Investor Definition

Broker-Dealer, Crowdfunding, Investment Advisers, Public Companies and Securities SEC Chair Mary Jo White gave testimony before the House of Representatives Committee on Financial Services.  Ms. White stated the staff is “engaged in a comprehensive... Read more →

by   |   November 22, 2015


“Recidivist” Custody Rule Violators Settle SEC Charges

Investment Advisers, Litigation, Private Equity The SEC announced that an investment advisory firm, two owners, and a former chief compliance officer have agreed to settle charges that the firm again violated the custody rule... Read more →

by   |   November 19, 2015

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SEC Finalizes Regulation Crowdfunding — Intermediary Requirements

Broker-Dealer, Crowdfunding, Investment Advisers The Securities and Exchange Commission issued final rules to implement the equity crowdfunding provisions under the JOBS Act on October 30, 2015, termed Regulation Crowdfunding. ... Read more →

by   |   November 11, 2015